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Strategies & Market Trends : Whodunit? CHST CREATIVE HOST SVCS market manipulation -- Ignore unavailable to you. Want to Upgrade?

To: StockDung who wrote (162)	11/2/2000 11:38:52 PM
From: CaptainSEC	Read Replies (1) \| Respond to of 193

Well, now we know why Steve left KPSP in such a hurry. I'm sure these complaints have nothing to do with CHST. NASDR Public Disclosure Program November 02, 2000 This information is current as of: 11/02/2000 ________________________________________________________________________________ NASD Registered Person: STEVEN ERNEST MUTH CRD Number: 1436358 CUSTOMER COMPLAINTS(cont.) * Disposition Date: The disposition date of the arbitration, reparation or litigation. * Summary: Details related to the circumstances of the complaint. ****************************************************************************** **** CUSTOMER COMPLAINT (1 of 4) **** Reporting Source: Broker (Form U-4) Date Reported: 09/05/2000 Date Received: 03/02/2000 Employing Firm: KIRKPATRICK PETTIS Allegations: CUSTOMER PURCHASED STOCK ON MARGIN. STOCK DROPPED IN PRICE CAUSING MARGIN CALLS ON 2/22, 2/23 AND 2/24. CUSTOMER CLAIMS HE WAS TOLD HE DID NOT HAVE TO DEPOSIT MORE FUNDS TO MEET MARGIN CALL. STOCK WAS SOLD ON 2/25/2000. I DENY THE CUSTOMER'S ALLEGATIONS. Alleged Damages: $9,000.00 Action Pending?: No Resolution: Withdrawn Resolution Date: 03/07/2000 Settlement Amount: $0.00 Individual Contribution: $0.00 Disposition Details: CUSTOMER SENT A LETTER TO THE COMPLIANCE DEPT. OF KIRKPATRICK PETTIS WITHDRAWING THE COMPLAINT AND APOLOGIZED FOR THE COMPLAINT LETTER. **** CUSTOMER COMPLAINT (2 of 4) **** Reporting Source: Broker (Form U-4) Date Reported: 09/05/2000 Date Received: 07/11/2000 Employing Firm: KIRKPATRICK PETTIS Allegations: CUSTOMER PLACED AN ORDER TO PURCHASE 3000 SHARES OF A STOCK IN LATE MAY 2000. THE ORDER WAS FILLED AT APPROXIMATELY $26/SHARE. THE PRICE OF THE STOCK DROPPED SIGNIFICANTLY AND THE CUSTOMER RECEIVED A MARGIN CALL. CUSTOMER COMPLAINED AND ALLEGED THE TRADE WAS UNAUTHORIZED AFTER STOCK DROPPED AND AFTER HE RECEIVED MARGIN CALL. I DENY THE ALLEGATIONS. Alleged Damages: $20,000.00 Action Pending?: Yes Disposition Details: **** CUSTOMER COMPLAINT (3 of 4) **** Reporting Source: Broker (Form U-4) Date Reported: 09/05/2000 Date Received: 07/23/2000 Employing Firm: KIRKPATRICK PETTIS Allegations: CUSTOMER PURCHASED MORE THAN 10% OF THE STOCK OF A PUBLIC COMPANY. CUSTOMER ALLEGED THAT THE BROKER AND KIRKPATRICK NASDR Public Disclosure Program November 02, 2000 Page 8 This information is current as of: 11/02/2000 ________________________________________________________________________________ NASD Registered Person: STEVEN ERNEST MUTH CRD Number: 1436358 CUSTOMER COMPLAINTS(cont.) PETTIS HAD THE LEGAL OBLIGATION TO ADVISE CUSTOMER OF ALL SEC RULES APPLICABLE TO 10% PLUS SHAREHOLDERS. I DENY THE ALLEGATIONS. Alleged Damages: $5,000,000.00 Action Pending?: Yes Disposition Details: **** CUSTOMER COMPLAINT (4 of 4) ****** Reporting Source: Broker (Form U-4) Date Reported: 09/05/2000 Date Received: 07/12/2000 Employing Firm: KIRKPATRICK PETTIS Allegations: ALLEGED FAILURE TO EXECUTE SELL ORDER. CUSTOMER CLAIMED HE PLACED A SELL ORDER. THE STOCK DROPPED AND HE FILED A COMPLAINT AFTER THE STOCK DROPPED. I DENY THE ALLEGATIONS. Alleged Damages: $200,000.00 Action Pending?: Yes Disposition Details: